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WEBINAR - Technically Compliant, Practically Exposed: What Actually Fails Under AML Scrutiny (1 hour)

WEBINAR - Technically Compliant, Practically Exposed: What Actually Fails Under AML Scrutiny

Date:  Thursday 11th February 2027

Time:  12.30pm - 1:30pm

Speaker:  Michelle Clements

Venue: ZOOM
Many law firms have an AML framework that looks complete on paper. Under regulatory scrutiny, the weaknesses tend to appear in how decisions are made, recorded and supervised across files. In this practical session, Michelle Clement, a former SRA AML Regulatory Manager, takes you behind the scenes of how the SRA assesses a firm’s risk and controls. She explains what a reviewer looks for when files are examined, how patterns turn into findings, and how seriousness is judged, with examples drawn from large and smaller firms. You will leave with a simple file test you can use in your own firm straight away.

Who it is for
COLPs, MLROs, COFAs, compliance staff, partners and fee earners in firms of any size

 

What attendees will learn

  • How the SRA, as an AML supervisor, builds a picture of a firm’s risk and controls
  • What a reviewer sees when they open and compare your files
  • How a one-off issue becomes a pattern and then a finding
  •  How seriousness is judged by the SRA
  • Where large and smaller firms most often come unstuck
  • A practical file test you can run in your own firm next week

 Programme

  1. Introduction
  2. How the SRA builds a picture of your firm, and how exposure is identified
  3. What firms often get wrong, and what a reviewer looks at in your systems
  4. Structural pressures in large and smaller firms, and where file-level execution breaks down
  5. How findings are formed, how evidence is weighed and how seriousness is calibrated
  6. Putting it into practice: the 30-minute file test
  7. Questions
Fees:
DASLS Members/Affiliates:  £25 plus VAT 
Non-members:  £40 plus VAT 

Michelle Clement spent over five years at the Solicitors Regulation Authority, finishing as an AML Regulatory Manager. During that time she led thematic reviews, carried out hundreds of AML inspections and desk-based reviews, and wrote the SRA’s guidance on Client and Matter Risk Assessments and on Source of Funds and Source of Wealth.

She is the founder of Michelle Clement AML Consultancy Ltd and the host of the AML Clinic Podcast.


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